Dubai Financial Services Authority

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Dubai Financial Services Authority (DFSA): Contents

Dubai Financial Services Authority (DFSA)

Rulebook Modules

Anti-Money Laundering, Counter-Terrorist Financing and Sanctions Module (AML) [VER16/07-19]

Authorised Market Institutions (AMI) [VER18/02-17]

Auditor Module (AUD) [VER3/02-17]

Conduct of Business Module (COB) [VER33/07-19]

Collective Investment Rules (CIR) [VER25/07-19]

Fees Module (FER) [VER20/02-19]

Fund Protocol Rules (FPR) [VER1/02-19]

General Module (GEN) [VER44/07-19]

Glossary Module (GLO) [VER44/07-19]

GLO 1 Introduction

[ A ] [Accepting Deposits—Authorised Person]

[ B ] [Bank—Business Rules]

[ C ] [Capital Requirement—Customer Due Diligence (CDD)]

Capital Requirement

Capital Resources

Captive Insurer

Carrying Out Contracts of Insurance

Cell Share Capital

Cellular Liabilities

Central Counterparty

Central Securities Depository

Charge

Chief Executive (CEO)

Class 1 Captive Cell

Class 2 Captive Cell

Class 3 Captive Cell

Class 1 Captive Insurer

Class 2 Captive Insurer

Class 3 Captive Insurer

Class 7 Capital Requirement

Class of Business

Client Agreement

Client Investments

Client Money Auditor's Report

Client Money Distribution Rules

Client Money Provisions

Closed-ended Fund

Close Out Netting

Closely Related

Code of Ethics for Accountants and Audit Firms of Islamic Financial Institutions

Code of Ethics for Professional Accountants

Collective Investment Fund

Commercial Customer [Deleted]

Commercial Paper

Commodities Risk Capital Requirement

Commodity Derivative

Compliance Officer

Concentration Risk

Connected Counterparties

Connected Person

Contingent Liability Investment

Contract of Insurance

Corporate Director

Corporate Governance Principles

Correspondent Account

Correspondent Bank

Correspondent Banking Client

Counterparty Risk

Counterparty Risk Capital Component (CPCOM) [Deleted]

Credit Default Product

Credit Derivatives

Credit Enhancement [Deleted]

Credit Equivalent Amount (CEA) [Deleted]

Credit Event Payment

Credit Facility

Credit Rating Activities

Credit Rating Agency

Credit Risk Capital Component (CRCOM) [Deleted]

Credit Risk Capital Requirement

Credit Spread Option

Credit-linked Note

Crowdfunding Loan Agreement

Crowdfunding Operator

Crowdfunding Platform

Customer Complaint [Deleted]

Customer Due Diligence (CDD)

[ D ] [Dealing in Investments as Agent—Dubai Law]

[ E ] [Effecting Contracts of Insurance—External Fund Manager]

[ F ] [Family Entity—Future]

[ G ] [GEN—Guidance]

[ H ] [Hedge Fund—Holding Company]

[ I ] [IFR—Issuer]

[ J ] [Joint Forum]

[ K ] [Key Individual—Key Information]

[ L ] [Large Exposure—Long-Term Insurance Liabilities]

[ M ] [Major Acquisition—Multilateral Trading Facility]

[ N ] [Net Outstanding Claims—Notice of Objection]

[ O ] [Offer—Owner's Equity]

[ P ] [Parent—Public Sector Entities]

[ Q ] [Qualifying Holding—Quiet Period]

[ R ] [Rated—Rulebook]

[ S ] [Safekeeping Arrangement—Suspicious Transaction]

[ T ] [Takaful Insurer—Trust Service Provider]

[ U ] [U.A.E.—Unrestricted Profit Sharing Account]

[ V ] [Voluntary Bid]

[ W ] [Warrant]

[ Z ] [Zone 1—Zone 2]

Islamic Finance Rules (IFR) [VER13/12-18]

Markets Rules (MKT) [VER15/07-19]

Price Stabilisation Module (PRS) [VER7/04-18]

Prudential — Insurance Business Module (PIN) [VER15/01-18]

Prudential — Investment, Insurance Intermediation and Banking Module (PIB) [VER33/02-19]

Recognition (REC) [VER12/01-18]

Representative Office Module (REP) [VER10/04-18]

Takeover Rules Module (TKO) [VER7/02-16]

Sourcebook Modules

Consultation Papers

Policy Statements

DFSA Codes of Practice

Amendments to Legislation

Financial Markets Tribunal

Connected by Complinet

Charge
Any Fee or charge made to a Client in connection with Investment Business, whether levied by the Authorised Firm or any other Person, including a Mark-up or Mark-down.

Derived from DFSA RM12/2004 (Made 16th September 2004). [VER1/09-04]